Leadership / Followership and Authority

2. Leadership / Followership and Authority But of a good leader, who talks little, When his work is done, his aim fulfilled, They will all say, "We did this ourselves." Lao Tzu

3. At the completion of this block of instruction the student should: 1. Understand the regulatory environment influencing authority and leadership. 2. Understand the corporate philosophy pertaining to authority. 3. Know the relationship between leadership and authority as part of a larger system. 4. Know the impact of Captain’s performance on overall crew effectiveness. 5. Understand the importance of setting the structure and setting the climate for efficient and effective flight operations. 6. Be able to select appropriate leadership behaviors for a given situation. 7. Understand the use of supporting behaviors for leadership and authority skills. 8. Understand the skills needed for effective cockpit leadership and followership. 9. Understand the need to clarify roles and expectations for followers.

4. DEFINITIONS • Leadership:A general systemic and relational process that emphasizes the ability to exercise skill in the movement toward goal attainment. From this perspective, leadership is proactive rather than reactive, and necessarily takes into account other members of the group. • Followership:An individual’s ability to contribute to task and goal accomplishment through supportive technical, interpersonal, and cognitive skills. Followership is not a challenge to the captain’s authority, but neither is it unthinking compliance with directives. Good followership is proactive without diminishing the authority of the captain. • Authority:Potential to influence or command thought, opinion, or behavior of others. The effectiveness of that authority is influences by peers' and coworkers' respect for that authority. • Authority and responsibility of the PIC:The pilot of the aircraft is directly responsible for, and the final authority as to, the operation of that aircraft. • Initiative:An individual’s ability to begin an action, without external direction, to overcome a perceived deficiency.

5. LEADERSHIP/FOLLOWERSHIP MODEL COMPONENTS The cockpit system structures in our model include; • the external environment, • the climate and structure of the cockpit, • individual attributes, and • the roles and responsibilities of the crew members. These various factors are acknowledged and attended to through effective communications.

6. External Environment We identified four external environmental factors – factors over which the flight crew has little or no control -- that influence leadership and followership. While the crew may not be able to change these factors readily, their reaction to these external factors may be critical to flight safety. The regulatory environment The corporate environment The market environment The physical environment.

7. The Regulatory Environment • The most obvious external factor that influences leadership and followership is the regulatory environment. This is the legal structure within which the flight operates. The International Civil Aviation Organization, and other aviation regulatory agencies, impose many of these parameters.

8. The Corporate Environment • This is most apparent, from the pilot's perspective, as yet another layer of written policies and procedures established by the company. In addition, the corporation -- knowingly or unwittingly -- conveys an attitude and this corporate culture is manifested in the cockpit, often as unwritten norms. Indeed, on occasion, the corporate culture may be in conflict with the regulatory environment or individual values.

9. The Market Environment • Yet another external factor which influences the crew is the market environment. Customer expectations, external service providers (i.e., catering and fuel services, crew accommodations), and labor/management relations each have an impact flight operations as do factors that impact profitability and the overall health of the company.

10. The Physical Environment • The last external factor affecting leadership and followership is the physical environment. This includes the weather, the condition of the aircraft, and Air Traffic Control considerations. These forces can have a considerable impact on crew performance, particularly on operational decisions.

11. CLIMATE AND STRUCTURE • Much more within the control of the flight crew are the internal climate and structure. • The ultimate goal of setting a climate and establishing a structure is to ensure effective crew performance. • To this end, one or more of the crew members carry out structuring tasks (i.e., planning, delegating, coordinating and monitoring) and climate-setting tasks (i.e., motivating, clarifying roles, coaching) using technical, cognitive and communication skills to accomplish both types of tasks. • The anticipated outcome is more effective problem solving, decision making, workload management, and/or conflict resolution.

12. CLIMATE AND STRUCTURE • To some degree the structure is dictated externally by regulations and company procedures. • The cockpit climate, on the other hand, is a mixture and a reflection of the attitudes of the crew members. In most cases, the captain has the greatest impact on cockpit-specific climate and structure. • Further, climate-setting, in particular, can be very subtle. Non-verbal cues and body language can be as illuminating as words. • If the captain conducts only a cursory briefing -- or no briefing -- he or she conveys an attitude about the value of crew coordination and communication.

13. CLIMATE AND STRUCTURE • The structure is established -- normally during the briefing -- by setting the operational parameters. The captain can discuss the specifics of the route, who will fly what leg, how abnormal situations should be handled, etc. • The captain may elect to include the cabin crew or not during the pre-flight briefing. While our main concern is with the cockpit, the climate and structure which includes the cabin crew and the ground crew cannot be ignored. • Examples of the negative results of a poor relationship between the cabin and flight crew are all too frequent.

14. Roles and Responsibilities • At the individual level, the leader and the follower(s) are defined by the hierarchical position held--their formal role. In addition, each crew member has a designated, functional role -- pilot flying (PF) or pilot-not-flying (PNF). • Leader/follower roles may be associated with the formal or designated role. However, leadership and followership may also shift as the situation changes. • In abnormal situations, for example, one crew member may be required to take a leadership role with other crew members or passengers. In other instances, leadership and followership roles may emerge as the result of operational variables.

15. Knowledge, Skills & Attributes • Each member of the crew brings to the cockpit knowledge, skills, and attributes which can be applied to their formal role (i.e., captain, first officer, second officer), to their designated, functional role (i.e., pilot flying, pilot not flying), and to their informal or emergent role as a leader or follower. • Knowledge refers to information that the individual remembers and/or understands. Knowledge can be classified as facts, procedures, concepts, or principles (Romiszowski 1984). • For the purposes of this research, we defined skill as a developed ability, aptitude or knowledge used effectively and readily in the execution or performance of tasks" in an effort to differentiate skills from operational functions or tasks and from personal attributes.

16. Communications Effective communications is an essential component of the leadership/followership model. It is the critical link and crew members need to communicate openly and supportively. Stevens & Campion (1994) suggest that open and supportive communication has five Characteristics: • First, it is behavior- or event-oriented, not person oriented. • Second, there is congruence between what the communicator feels and says, between verbal and nonverbal messages. • Third, open and supportive communication validates individuals. Messages that convey superiority, rigidity of position, or indifference toward the recipient do not validate. • Fourth, open and supportive communication is conjunctive; that is, each crew member has the opportunity to speak (using appropriate timing) and topics are not disconnected or monopolized. • Fifth, open and supportive communication is owned. Ownership means that crew members take responsibility for their statements and ideas.

17. Communications • Stevens and Campion also suggest that effective communications skill include the ability to listen actively and non-evaluatively, interpret nonverbal messages, and engage in small talk and ritual greetings. • We would also suggest that effective cockpit communications are "loop“ communications; that is, the communication must include a feedback loop otherwise cockpit communications are likely to be one-way. This communications loop is implicit in our model.

18. Interacting Skills • Skills analysis resulted in the identification of six skills common to both leadership and followership. As noted previously, we defined skill as "a developed ability, aptitude or knowledge used effectively and readily in the execution or performance of tasks" in an effort to differentiate skills from operational functions or tasks and from personal attributes. • These skills have a knowledge base and they can be developed, practiced, observed, and assessed. Our validation research strongly suggests that effective use of these skills increases crew effectiveness.

19. Leadership / Followership Model

20. LEADERSHIP/FOLLOWERSHIP SKILLS • The following is a list of CRM skills for crew members, that define the six leadership/followership skills. • 1. ENVISIONING • 2. MODELING • 3. INFLUENCE • 4. RECEPTIVENESS • 5. INITIATIVE • 6. ADAPTABILITY

21. 1. ENVISIONING What is Envisioning ? DEFINITION · Creates and articulates a plan for the future. BEHAVIORS · Develops and shares the plan or “mental model” of the flight or task · Anticipates problems and/or opportunities · Supplies meaning and direction to other crewmembers

22. 1. ENVISIONING • A crewmember creates and articulates a picture or a plan. Part of this process of envisioning involves one's experience with the particular task. This can originate, from any crewmembers not just the captain.It is, however, primarily associated with captains and their effectiveness. • Because of varied experience levels, it is necessary, for crew members to clearly verbalizing to others their plan of how to do a specific task. • It also involves anticipating future problems and/or opportunities as they relate to a specific task. • A crew member who has a clear vision of a task also supplies meaning and direction to other crewmembers. A clear vision begins as an idea -- an idea that is a part of one's decision making process. • To develop the idea or vision, one must create an open communications environment. That idea is validated by asking questions and receiving input, critiquing one’s idea, and stating decisions so others know what is expected of them and the boundaries within which they are expected to operate. They know the expected outcome and what the process was to achieve that task

23. 2. MODELING What is Modeling? DEFINITION • Exhibits behavior consistent with the carrier’s highest technical, CRM, and ethical standards BEHAVIORS • Demonstrates through personal example what is expected of others • Gives advice and positive feedback to others when appropriate • Treats other crewmembers, employees, and passengers with respect

24. 2. MODELING • Modeling in not only “do as I say” but “do as I do”. Crewmembers exhibit behavior that is consistent with the Company’s and the Industries highest technical and ethical standards. • Modeling correlates fairly equally to all crewmember’s effectiveness. One’s personal example demonstrates what is expected of others. • Captain can model very effectively during the crew formation process by conducting an effective bringing. The captain who flies by profiles when possible, and uses all available navaids during approaches, is telling the first officer this is the way to fly. • Flight Attendants who spend time walking through the cabin after scheduled service are telling the FAs this is also the way to do the job. • Modeling is also giving advice and positive feedback to others when appropriate. The first officer who is struggling to fly an approach or is a little behind the airplane may be soliciting advice when s/he verbalized frustration or anger over his/her inability to catch up. • The flight attendant that is reacting stressfully to events during service or in dealing with an unruly customer may appreciate verbal support or suggestions on how to deal with the issues.

25. 3. INFLUENCE What is Influence? DEFINITION • Obtains commitment from others to ideas or actions. BEHAVIORS Using effective interpersonal skills, styles, and methods to appeal to others’ logic in order to get support for an idea or viewpoint • Uses tact when asserting a position • Uses appropriate level of assertion when advocating a position • Establishes a rapport with others

26. 3. INFLUENCE • A person who has good influencing skills obtains commitment from others to ideas or actions using effective interpersonal skills and methods. One of the effective interpersonal skills when trying to influence others is to be tactful. Tact involves courtesy, respect, and sympathie. • This term includes the concept of assertiveness. The term assertion means to state a need, thought or want. People often have difficulty influencing others by the way they express an assertive statement. • The desired result is to try to get others to listen to ones’ ideas and consider them for their merit without becoming offended or defensive. • Influencing others occurs when one appeals to others’ logic in order to get support for an idea or viewpoint. Using “ I think” statements or “ I would like” statements rather than “you should” statements creates ownership rather than projecting fault. • Statements like “what about …” or “what do think about…”, while common, and probably effective, may not be the most efficient. These statements invite dialogue that may or may not be relevant. Dialogue about the issue is important. • Dialogue about the meaning of a statement or playing “twenty questions” is inefficient.

27. 4. RECEPTIVENESS What is Receptiveness? DEFINITION • Encourages, pays attention to, and coveys understanding of another’s ideas, comments, or questions. BEHAVIORS • Encourages feedback from others • Incorporates suggestions from others into decisions • Actively listens to others

28. 4. RECEPTIVENESS • Receptive crewmembers encourage others, pay attention to , and convey understanding of another’s ideas, comments or questions. This is done when captains encourage feedback when briefing first officers and flight attendants.. • Receptive crewmembers encourage feedback from others and incorporate suggestions from them into decisions. • Feedback involves active listening which includes body language such as direct eye contact, and nodding with understanding. Paraphrasing, agreeing and questioning are verbal components of active listening as well. • When the flying pilot asks if there are any questions after the approach briefing s/he needs to be receptive to the solicited input.

29. 5. INITIATIVE What is Initiative? DEFINITION • Begins an action, without external direction, to resolve an operational need. BEHAVIORS • Looks for more effective ways of doing things • Takes on a task or job which needs to be done • Takes appropriate action without having to be told; informs others of the action

30. 5. INITIATIVE • Crewmembers who show initiative, begin an action, without external direction, to accomplish a necessary task. • These are the pilots or flight attendants who also look for a more effective way of doing things. • For pilots, initiative correlates highly to both captains and first officers when they are working together. When captains create a vision or mental model such as the departure briefing, and share that with the first officer, a higher level of initiative results in the first officer. • The first officer knows what is expected, and knows the limits of his/her behavior. Initiative also takes place on tasks that need to be done. • The non-flying pilot can volunteer to call flight service to get the latest weather. • The first officer reminds the captain about turning on the engine anti-ice when the captain has forgotten it. • And finally, initiative means taking appropriate action without having to be told and then informing others of the action.

31. 6. ADAPTABILITY What is Adaptability? DEFINITION • Adjusts to changing environments, ambiguity, and abnormal situations BEHAVIORS • Changes the plan without difficulty when new information indicates changes are required • Able to operate within the structure, but understands the occasional need for structure and personal flexibility • Performs well even where there is not enough time, information, or resources

32. 6. ADAPTABILITY • Adaptability means the ability to adjust to changing environments, ambiguity, and abnormal situations. • Pilots deal with this all of the time. It is a crewmember’s ability to recognize this need to adapt and how quickly they do it that is important here. • Changing weather, traffic flows, abnormal problems, all require pilots to recognize the need and adapt plans and change decisions. • Turbulence, time and customer demands can require flight attendants to adapt service and normal routines. • Highly adaptive crew members are able to make these changes without difficulty when new information indicates changes are required. They operate within the structure, but understand the occasional need for structural and personal flexibility. • Highly adaptable crewmembers are able to perform well even when there is not enough time, information or resources to accomplish normal routines.

33. WHAT LEADERS MUST KNOW AND DO, AND THEIR RELATIONSHIP TOFOLLOWERS Leadership What do good leaders need to know? need to do? • Leadership is a relational process • Leadership is the exercise of skills to achieve goal attainment • Leadership is proactive rather than reactive • Leadership takes into account other crew members

34. WHAT LEADERS MUST KNOW AND DO, AND THEIR RELATIONSHIP TOFOLLOWERS Followership What do good followers need to know? need to do? • Followership is the ability to contribute to task and goal accomplishment • Followership is characterized by supportive technical, cognitive and interpersonal skills • Followership is not a challenge to the captains authority, but neither is it unthinking compliance with directives -- especially if those directives might adversely impact the safety of the operation • Followership is proactive without diminishing the authority of the captain. • Followership is an active role that holds the potential for leadership.

35. Relationship between Leadership and Followership 1. Leadership and followership are • interrelated concepts • complementary rather than competitive • synergistic rather than separate • dialectic (that is, they depend on each other for existence and meaning) 2. Leadership and followership skills are related as much to designated roles (i.e., PF/PNF) and situational role requirements as they are to formal role (i.e., captain, first officer, flight engineer). 3. A minimum combined level of leadership and followership is required for safe, efficient flight operations.

36. Relationship between Leadership and Followership • If more and/or more effective skills are brought to the situation, efficiency will be increased. • If one member of the crew is weak in one or more skill area, other members of the crew must fill this skill "void" in order to produce an effective outcome. 6. Leadership and followership skills are especially critical in airline operations because of the constantly changing composition of airline crews and the rotation of designated roles, that is, the pilot flying/pilot not flying (PF/PNF) function.

37. CULTURE • Culture can be ssen as a collective programming of the mind.It presents a set of values which affect our priorities and consequently, the decision we make. • Culture are all formal and informal “rules” that controls the cognitive and the emotional aspects on the membership of an organisation or a nation. • In plain language : Culture makes up the sum total of how we interact with each other and in what way things are carried out.

38. CULTURE Hofstede identifies four main areas from where collective behavior originates in a cultural context. • Power distance • Individualism-Collectivism • Uncertainty avoidance • Feminine- Masculine

39. CULTURE POWER DISTANCE Defined: “...as the extent to which the less powerful members of institutions and organisations within a country expect and accept that power is distributed unequally.”

40. CULTURE INDIVIDUALISM Individuals are responsible for themselves and those in their immediate family and the ties between the individuals are weak. ”Everybody is free on their own way.”

41. CULTURE COLLECTIVISM The collectivist societies where group membership is foremost and people form, and are part of, strong cohesive groups which take precedence over individual goals.

42. CULTURE UNCERTAINTY AVOIDANCE Defined as the extent to which the members of a culture feel threatened by uncertain or unknown situations

43. CULTURE LOW UNCERTAINTY AVOIDENCE • Happy with the ‘unknown’ • Accepts uncertainty • Not much planning • Precision must be learned • Accepts change and new ideas

44. CULTURE HIGH UNCERTAINTY AVOIDENCE • Don’t like the ‘unknown’ • Will try to avoid the uncertain • Plans carefully • Precision is the standard • Resist change and new ideas

45. CULTURE MASCULINE • Earnings : Have an opportunity for high earnings • Recognition : Get the recognition you deserve when you do a good job • Advancement : Have an opportunity for advancement to higher level jobs • Challenge : Have challenging work to do, work from which you can get a personal sense of accomplishment

46. CULTURE FEMININITY • Manager : Have a good working relationship with your direct supervisor • Co-operation : Work with people who co-operate well with one another • Living Area : Live in an area desirable for you and your family • Employment Security : Have the security that you will be able to work for your company as long as you want to

47. CULTURE Frontside of the coin of culture: To share ideas , concepts and interpretations are essential for any organised operation. If not having a shared mental model the resulting operating environment would be characterised with vagueness and uncertainty

48. CULTURE Backside: Culture is stronger than interests. Unsafe practice and routines can be or become a part of any airline organisation. Cultures are by their very nature hard to change The reason, Any culture make sense for the individuals belonging to it.Adaptation is the effect of socialization. Human beings are created to be part of a social context.

49. TEAM BUILDING

50. TEAM BUILDING What makes a good team member? • Good leadership • Good support • A common goal • Skilled members of the team • Proper communication • Proper trainingof both the individuals and the team as a whole • Understanding the desicion making processes within the team • Appreciation of different personality styles including leadership styles